Monitoring & Evaluation Framework
Partner Guidance Document
Somalia - August 2015
Somalia Shelter Cluster Monitoring & Evaluation Framework – Guidance Document
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CONTENTS Figures & Tables ............................................................................................................................................... 2
Objective of the manual ................................................................................................................................... 3
Background ....................................................................................................................................................... 3
Rationale ........................................................................................................................................................ 3
Target Audience ............................................................................................................................................. 3
Programme Cycles ........................................................................................................................................... 4
Non-Food Items (NFI) & Emergency Shelter .................................................................................................. 4
Transitional & Permanent Shelter .................................................................................................................. 4
Project Reporting Tool .................................................................................................................................... 4
Measuring Indicators ........................................................................................................................................ 4
Timeline and Sources of Data Collection ....................................................................................................... 5
Data Collection Methodologies ....................................................................................................................... 7
Control/comparison groups ............................................................................................................................ 9
Training ........................................................................................................................................................... 10
Data Collection ................................................................................................................................................ 11
Shelter Cluster Platform ............................................................................................................................... 11
Enumerator Recruitment .............................................................................................................................. 12
Training ........................................................................................................................................................ 12
Steps for Data Collection and Entry ............................................................................................................. 13
Data Upload ................................................................................................................................................. 14
Data Verification ............................................................................................................................................. 14
Data Analysis .................................................................................................................................................. 16
Exporting Data .............................................................................................................................................. 16
Filtering Data ................................................................................................................................................ 19
Cleaning Data............................................................................................................................................... 23
Annexes ........................................................................................................................................................... 23
FIGURES & TABLES Figure 1: NFI & Emergency Shelter Data Collection Timeline ................................................................................ 5
Figure 2: Transitional & Permanent Shelter Data Collection Timeline .................................................................... 6
Figure 3: Daily Data Collection Process for Team Leaders and Enumerators ...................................................... 12
Figure 4: Mobile Phone Diagram .......................................................................................................................... 13
Figure 5: Home Screen of mFieldwork .................................................................................................................. 14
Table 1: NFI Data Sources ...................................................................................................................................... 6
Table 2: Transitional Shelter Data Sources ............................................................................................................ 7
Table 3: Reliability/Credibility Matrix ..................................................................................................................... 15
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OBJECTIVE OF THE MANUAL The Somalia Shelter Cluster Monitoring and Evaluation Framework Manual was developed to improve the quality
of shelter programming in Somalia, through enabling shelter actors to effectively understand monitoring and
evaluation (M&E) processes and conduct M&E activities. The manual is a key support document in the larger
body of Shelter Cluster documents intended to ensure common M&E methodologies. Using this manual in
conjunction with other Shelter Cluster documents will leverage synergies and individual agency expertise for
more effective programming and fundraising as well as collective transparency and accountability.
This manual, in a very practical way, expresses the Shelter Cluster’s commitment to delivering quality services
and building accountability at both the individual and institutional level. The Framework development process
included the collation of Shelter Cluster documents, identification of common indicators, and integration of
identified indicators into instruments either developed or refined in collaboration with the Shelter Cluster. While
the M&E framework is holistic in its incorporation of external and internal processes (staffing, funding,
communications etc.), this manual is not intended to be prescriptive. Rather, it builds upon existing work by
Shelter Cluster and its members and is intended for use as a reference document to support planned, formative,
and ongoing shelter programming. As the Shelter Cluster evolves and its methodologies are further refined,
elements within this manual and framework may need to be changed accordingly.
BACKGROUND This manual was produced in consultation with all members of the Somalia Shelter Cluster for the purpose of
creating an M&E Framework that is as widely relevant as it is effective. Thanks to the generous support of
ECHO, REACH developed the framework in close coordination with the Shelter Cluster Working Group. Through
standardizing indicators as well as data collection, sharing and analysis procedures, this manual aims to serve
as useful tool for programme developers, remote managers, project coordinators, and field level staff.
REACH's purpose is to promote and facilitate the development of information products that enhance the
humanitarian community's decision-making and planning capacity, supporting and working within the framework
of the humanitarian reform process. Inclusive of this project, all products and outputs are created through
consultative and inclusive processes.
RATIONALE The Shelter Cluster has long committed to purposive and effective M&E in shelter projects, and has recently built
its M&E capacities. Development of an M&E framework is the next step and imperative to the future growth of the
cluster and its partners. This manual is a tool for the cluster and cluster partners to develop a more systematic
approach to the collection, management, and reporting of key data in order to inform and improve operational
and strategic decision-making and allow for the evaluation of the outputs and outcomes of its programming.
Through a refinement of currently available tools and best practices, REACH incorporated already existing
Shelter Cluster documents as a backbone to the design of the M&E system –available in Annex 1: Indicator
Matrix . The encouraged M&E approach is intended to not only measure impact of cluster partner activities
across all indicators, but also can be used as a project reporting tool to track progress and gaps.
TARGET AUDIENCE This manual is targeted toward both remote managers and regional focal points involved in the implementation of
the standardized methodology employed by the Shelter Cluster. While the manual seeks to present material in a
common language that all readers can follow, it is recommended that the manual be used by staff well-versed in
both designing and implementing M&E systems. The manual can also be used as a resource to train staff and
daily labourers in the collection of data using the cluster system, further contributing to their M&E competencies.
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PROGRAMME CYCLES The monitoring and evaluation framework is developed upon the specific programme cycle of each type of
shelter intervention in Somalia. Within each of the programme cycle steps, there are indicators to be measured
using specific instruments for this purpose. This section will orient the reader to each programme cycle, while the
next section will discuss the ways in which the indicators at each step are measured.
NON-FOOD ITEMS (NFI) & EMERGENCY SHELTER The programme cycles for NFI and emergency
shelter consist of a needs assessment, baseline
assessment, registration of beneficiaries,
monitoring of the distribution to the registered
beneficiaries, and an evaluation of the way in
which the NFIs or shelter were used. The primary
aim of the monitoring and evaluation framework
for NFIs and emergency shelter is to understand
whether the items reached the registered
beneficiaries, if they addressed the immediate
needs and satisfaction of the selected
beneficiaries, if the items were used as expected,
and the outcomes associated with their use.
TRANSITIONAL & PERMANENT SHELTER Similar to NFIs and emergency shelter, the
programme cycles for transitional and permanent
shelter begins with a needs assessment, baseline
assessment, and registration of beneficiaries.
Additionally, the higher level investment of resources
requires an additional construction monitoring
process to track the progress and delivery of
shelters. The final post-construction evaluation
measures the outcomes associated with this shelter
intervention. Permanent shelter requires the highest
level of detail; M&E is done for all beneficiary
households, not a sample, like the other types.
PROJECT REPORTING TOOL The Project Reporting Tool is a key element of the Framework as it is provides a singular linkage to all core
Framework elements and instruments. The tool is informed by the core M&E Framework indicators for each
project cycle. As such, the tool includes core elements from relevant global and country-level literature, including
the Shelter Cluster Standard Operation Framework (SOF), Global Shelter Cluster Indicators, SPHERE
handbook, NRC tools, and ECHO framework, amongst other relevant documents Annex 1: Indicator Matrix.
Agencies may use this this tool throughout the project cycle to monitor and report on core indicators. The Project
Reporting Tool will include a function which triggers different questions depending on the status of the
intervention along the project cycle. The questions will ask for outcome or process measures which will be
informed by the data and findings gathered by the preceding M&E Framework instrument.
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MEASURING INDICATORS At each step of the programme cycles explained above, the monitoring and evaluation framework outlines
specific indicators to measure the progress of the NFI or shelter intervention, track the provision of these items to
beneficiary households from registration to delivery, and identify the outcomes associated with the intervention.
In order to operationalise these indicators, specific instruments and associated methodologies have been
developed and identified for use by partner agencies, as explained below. The Framework includes both core
and recommended indicators, and all instruments will be inclusive of questions to gather information for core
indicators. As much as possible, these instruments and methodologies are based upon those already
established and used by the cluster or best practices from shelter-implementing agencies.
TIMELINE AND SOURCES OF DATA COLLECTION
NFI & Emergency Shelter
For each step of the NFI and emergency shelter programme cycles, there are associated instruments used to
measure the indicators outlined in Annex 1: Indicator Matrix. Figure 1 outlines when specific instruments will be
used according to the five steps laid out in the programme cycle. The instruments or sources along the bottom of
the timeline correspond to each step before it.
Figure 1: NFI & Emergency Shelter Data Collection Timeline
The Shelter Cluster M&E Framework uses pre-defined instruments and methodologies for primary and
secondary data collection. Each source defined in Table 1: NFI Data Sources below directly links with the
indicators in the framework, providing the necessary data to measure their progress. All relevant instruments can
be found at the Somalia Shelter Cluster website and the methodologies for their use can be found in the next
Data Collection Methodologies section. The Post-Distribution Evaluation instrument is different for NFI
interventions and emergency shelter interventions.
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Table 1: NFI Data Sources
Instrument/Source Type
Objective Type Target Responsible Frequency
ICCG Rapid Needs Assessment
Identify the multi-sector needs of emergency-affected population
survey household level
implementing orgs
each round of displacement
Shelter Cluster Mapping Exercise
Identify target beneficiary groups and characteristics of current settlement
survey settlement level
shelter implementing orgs
each round of displacement
Baseline Instrument Identify the household situation associated with this shelter intervention
Survey / form
household level
third parties before each intervention
Registration Form All households are registered according to pre-defined criteria
form household level
implementing orgs
before each distribution
Distribution Monitoring Report
Provide an overview of each distribution in each settlement
report settlement level
implementing orgs
after each distribution
Post-Distribution Monitoring
Provide information for each distribution on a sample of households
survey household level
implementing orgs
after each distribution
NFI/Em Shelter Post-Distribution Evaluation
Understand how the NFIs were used and whether they met the needs of the beneficiaries
survey household level
third parties 3 months after each distribution
Transitional & Permanent Shelter
For each step of the Transitional Shelter programme cycle, there are associated instruments used to measure
the indicators outlined in Annex 1: Indicator Matrix. Figure 2 outlines when specific instruments will be used
according to the five steps laid out in the programme cycle. The instruments or sources along the bottom of the
timeline correspond to each step before it.
Figure 2: Transitional & Permanent Shelter Data Collection Timeline
The Shelter Cluster M&E Framework uses pre-defined instruments and methodologies for primary and
secondary data collection. Each source defined in Table 2: Transitional Shelter Data Sources below directly links
with the indicators in the framework, providing the necessary data to measure their progress. All relevant
instruments can be found at the Somalia Shelter Cluster website and the methodologies for their use can be
found in the next Data Collection Methodologies section.
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Table 2: Transitional Shelter Data Sources
Instrument/Source Type
Objective Type Target Responsible Frequency
ICCG Rapid Needs Assessment
Identify the multi-sector needs of emergency-affected population
survey household level
implementing orgs
each round of displacement
Shelter Cluster Mapping Exercise
Identify target beneficiary groups and characteristics of current settlement
survey settlement level
shelter implementing orgs
each round of displacement
Baseline Instrument Identify the household situation associated with this shelter intervention
survey household level
third parties before each intervention
Registration Form All households are registered according to pre-defined criteria
form household level
implementing orgs
before construction
Shelter Construction Monitoring
Provide an observational assessment of construction progress, quality, and beneficiary satisfaction
survey household level
implementing orgs
at the ground breaking, construction, and handover periods
Settlement Construction Monitoring
Provide an observational assessment of the progress, functionality, and access to each settlement facility
report settlement level
implementing orgs
immediately after shelters are delivered to beneficiaries
Post-Construction Evaluation
Measure the outcomes associated with this shelter intervention
survey household level
third parties 6 months after completion of shelter intervention
DATA COLLECTION METHODOLOGIES The following section outlines the specific methodologies that are to be used for each instrument highlighted in
the tables in the Timeline and Sources of Data Collection section.
Rapid Needs Assessment
The Inter-Cluster Coordination Group (ICCG) has developed an inter-cluster emergency needs assessment
methodology and questionnaire to be used during rapid onset emergencies. The Somalia Initial Rapid Needs
Assessment (SIRNA) tool is designed to serve as a standard, easily accessible inter-Cluster tool that can provide
a comprehensive needs overview of a population after a crisis is first reported. This questionnaire contains key
questions from each sector to identify needs to which each cluster would respond. The objective of this
assessment is to capture critical information at the household level to inform emergency response and planning.
The methodology and questionnaire can be found in the separate ICCG Rapid Needs Assessment guidance
notes.
This questionnaire is used for all types of NFI and shelter interventions
Cluster Mapping Exercise
The Mapping Exercise provides humanitarian agencies with a snap shot of the existing infrastructures in an IDP
settlement. The Mapping Exercise provides a snapshot of the infrastructures (pictures, GPS and visual findings).
The Mapping Exercise involves the identification of the stakeholders working in the cluster with adequate
knowledge of the working environment and with in-depth knowledge and capacity on shelter and protection
cluster issues.
This questionnaire is used for all types of NFI and shelter interventions
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Baseline Instrument
The Baseline Instrument is to be used as the measure for comparison during the evaluation. Baselines may
integrate control/comparison and intervention groups found in Control/Comparison Groups section. The data
collected during the baseline provides a preliminary measure of the shelter/NFI score and vulnerability of the
household. The baseline process consists of one method of data collection: household surveys with a random
sample of households that are to receive the intervention. During the evaluation stage, similar indicators should
be measured for comparison. See Annex 3: SampLing Guidance for sampling guidance.
This questionnaire is used for all types of NFI and shelter interventions
Registration Form
The beneficiary registration form is designed to officially register all households targeted for distribution and/or
shelter provision. Each household that has been targeted must register with an implementing organization using
the registration form. Thus, the sample size for this instrument is all households targeted for distribution or
provision of shelter.
Pre-registration arrangements and a logistical setting that allows for reduced registration exercise time are
recommended. Registration is a sensitive step where pressures from the community, security risks, risk of fraud
and/or requests to enlarge the target are only some of the challenges. Reduce time and improve efficiency using
experienced and skilled staff (including staff from the community who may support in the vetting process).
This form is used for all types of NFI and shelter interventions
Post-Distribution Monitoring
The objective of the post-distribution monitoring is to provide information for each distribution at the household
level on wait time, use or access to a complaint mechanism, and the quantity and quality of the distributed items.
The monitoring questionnaire is conducted by focal points of the implementing organization on a random
sampling of households leaving the distribution. See Annex 3: SampLing Guidance for sampling guidance.
This questionnaire is used for NFI and Emergency Shelter distributions
Shelter Construction Monitoring
The stated purpose of the shelter construction monitoring is to provide an observational assessment of
construction progress, quality, and beneficiary satisfaction of constructed shelters. This is conducted by the
implementing organization at three stages of the shelter construction process: (1) ground breaking, (2)
construction, and (3) handover. The questionnaire is employed on a representative, random sample of target
beneficiary households. See Annex 3: SampLing Guidance for sampling guidance.
This questionnaire is used for Transitional and Permanent Shelter distributions
Settlement Construction Monitoring
The objective of the settlement construction monitoring is to provide an observational assessment of the
progress, functionality, and access to each settlement facility. This survey requires a full assessment of each
settlement facility by implementing organizations immediately after all transitional shelters are completed and
handed over to the beneficiaries.
This questionnaire is used for Transitional and Permanent Shelter distributions
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Post-Intervention Evaluation
The evaluation tool encompasses all shelter intervention types, with two distinct elements: post distribution
evaluation and post construction evaluation.
The stated purpose of the post distribution evaluation is:
• To assess the quality of the distributions
• To evaluate the impact of the goods received on individual households
• To estimate diversion rates of the distributed goods outside the household
The post distribution evaluation process consists of one method of data collection: household surveys with a
random sample of households that have received at least one distribution of NFIs or Emergency Shelter. The
evaluation should be conducted 3 weeks following the distribution. See Annex 3: SampLing Guidance for
sampling guidance.
The purpose of the post-construction evaluation is to measure the outcomes associated with Transitional or
Permanent shelter interventions. The evaluation largely mirrors the Shelter Review questionnaire while also
adding elements of outcome measurement to understand what effect the shelter intervention may have had on
the lives of the target beneficiaries. This evaluation is to be completed 6 months after the completion of the
shelter intervention by the implementing organization. The questionnaire is conducted on all households that
received a permanent house.
This questionnaire is used for all types of NFI and shelter interventions
CONTROL/COMPARISON GROUPS To demonstrate the causality of interventions, research often promotes the use of a control or comparison group.
Control groups should, as much as possible, bear similar characteristics of the sample of households that are
being provided the intervention, whereas, comparison groups do not require the baseline comparability that a
control group does. Neither group receives the intervention but are sampled at the baseline and endline like
intervention groups. Organizations may opt for inclusion of a comparison or control group as there is a stronger
argument for causality of an intervention after capturing and comparing endline data for both groups.
When considering incorporating a control or comparison group, there are many important factors to consider:
Expectations – Eliciting control/comparison group participation without providing support is not a
common practice in Somalia. Many communities have come to expect some sort of compensation for
participating in a study; this often comes in the form of delayed intervention (after the endline is
collected).
Need – Use of a control/comparison group is not required throughout the programme cycle and is of
most use for evaluative purposes. Even so, not all evaluations will require a control/comparison group.
Careful planning should be conducted and contextual input should be provided before moving forward
with a control/comparison group analysis.
Comparability – In Somalia, where populations move regularly and contexts change rapidly, relevant
control groups are difficult to maintain. A group which may have been comparable in the beginning can
have extremely different characteristics at the end of the study due to external factors, which may be
incorrectly attributed to not receiving the intervention.
Feasibility – Data collected at the baseline and endline should be taken from, as much as possible, the
same sample. Therefore, both control/comparison and intervention groups must be well tracked to
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ensure their participation at the endline. Even with well-trained M&E staff, the feasibility versus benefits
must be carefully weighed.
Reliability – In the context of Somalia, it is difficult to run any scaled intervention in isolation.
Communities talk and know who is in the control/comparison group and who is in the intervention group
(especially for NFI and Shelter interventions) which, therefore, increases the likelihood of purposefully
skewed data. Mitigating this concern would require having geographically or culturally separated control
groups, which would further undermine the comparability.
Costs – If, at the end of deliberations, a control/comparison group is deemed appropriate, research and
security experts should be heavily involved in the planning and implementation. There is also an
inherent increase in cost when collecting additional data (i.e. for the control/comparison group).
TRAINING1
Training is a critical element of any M&E system, as it allows for all team members to have a full understanding
of the purpose of the research, how it will be conducted, the instruments that will be used, and various roles and
responsibilities throughout the timeline.
The effectiveness of any M&E plan relies on support from staff, often from various backgrounds and skill levels.
M&E experts, with special training and skills, will lead the project, but the backbone of any M&E implementation
is the staff on-the-ground. This means that trainings need to be inclusive and properly planned to anticipate
challenges and build capacities. Trainings should be practical and cover every detail element of the M&E system
being implemented.
Before conducting any training, it is essential to 1) understand the skills and level of experience among those in
the training, and 2) identify the various tasks and responsibilities needed to implement the M&E framework.
CHECKLIST
Provide each team member with a training covering the following topics
Project Background: explanation of the creation and purpose of the M&E system
Management: working relations and plan of action
Content Framing: explanation of project and instruments
Practical Examples: hands-on practice of process and instruments
Security Considerations: existing situation and procedures during data collection
Logistical and Administration: emphasis of relevance and importance of preparation
Project Background – Participants must first grasp the importance and implications of the M&E system. During
this component, discussions should elaborate upon the background of the M&E system and its importance.
Complementarily, detailing the research design of the project will enable support and understanding from
participants. It is also at this stage that training facilitators should highlight any other stakeholders involved in this
project (i.e. donors, partners, UN agencies). Framing the involvement of stakeholders will support a well-rounded
understanding by participants of the project’s importance before diving into the intricacies of the M&E framework.
Facilitators may also indicate the various benefits of collaborative efforts for the individual, agency and
humanitarian community. Creating buy-in takes patience and time but will be evident in the products yielded.
1 Specific guidance for training of data collection for team leaders and enumerators is available in the Data Collection Methodologies section.
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Management – Any M&E training must highlight working relationships: responsibilities of each team member,
reporting lines, timelines, etc. The plan of action, including methodology used and timeframe, should be revisited
with the integration of roles and responsibility. It is also at this stage where facilitators should indicate any people
or resources available for participants to utilise in order to better understand the process. Encourage staff to ask
questions and provide feedback, as questions are better answered during training than in the field.
Content Framing – Facilitators must highlight the step-by-step guidance of the framework. During this
component, facilitators will detail data collection systems, sampling, instruments to be used, data entry, and data
analysis.
Practical Examples – Hands-on learning is integral for knowledge transfer and project sustainability. Sufficient
time should be allocated for all participants to explore practical examples of M&E framework implementation.
This should also include training on the mobile data collection (available in the Data Entry section).
Security Considerations – Security considerations should be reviewed during project planning and before
implementation. Three important security considerations are:
Access: Project managers should identify and arrange necessary meetings with local authorities to
guarantee access. These may include: 1) District Commissioner, 2) Umbrella leaders, and/or 3)
Settlement leaders and gatekeepers. It is important to understand and follow the hierarchical structure,
beginning contact with the highest official first and working down the structure.
Community Buy-in – Operational partners on the ground should assist in starting the dialog with
communities. It is important that the project manager closely monitors this dialog and clearly represents
project goals and methodologies, managing expectations and minimising security issues.
Documented Approval – Project managers must secure a letter of authority and/or access from the
local authority for the project. The letter should indicate approval for any and all assessment vehicles
required to enter the community. The letter must remain in the vehicles for the duration of the
assessment.
Logistics and Administration – Logistics and administration is an often overlooked and under-prioritised
component of M&E. Training facilitators must take great care to emphasize all logistical and administrative
considerations. During M&E implementation, project managers should ensure preparation of all required
administrative and logistics documents and goods prior to the assessment training. These may include but are
not limited to: contracts, attendance sheets, merchandise receipt forms, vehicles, printing, sourcing quotations,
field/site visits, training/accommodation facilities, and catering.
DATA COLLECTION
SHELTER CLUSTER PLATFORM The Shelter Cluster uses mFieldwork as its data collection platform. The mFieldwork platform allows
organizations to remotely monitor their data collection and project cycle activities.2 Data is securely held within
mFieldwork, with varying permissions available based on project needs. Permissions can vary across actors. For
instance, the organizational focal point may need access to export data; however, enumerators will likely not
need to review the raw data. It is then suggested that enumerators only have access to enter data, not to export.
2 www.mfieldwork.com
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ENUMERATOR RECRUITMENT Team leaders should be agency staff and not daily labours in order to ensure their competence and
commitment. Team leaders will be responsible for all distribution/collection of mobile phones, sign-in sheets and
transport to and from the field. Team leaders will be responsible to collect and deliver mobile phones to project
manager each day
Enumerators should be provided by cluster partners and must be familiar and operational in the region of the
assessment. Enumerators may be daily labours and/or staff. Enumerator selection criteria should include:
Located in and familiar with the context
Possess a high level of English; spoken and written
Ability to use a mobile phone
When possible, the team should have an equal representation of genders to ensure access to all
household members.
TRAINING Sampling – Households should be randomly sampled from each of the targeted settlements using a randomized
household walk methodology. The Pencil Technique is an advisable method that is easily translatable to
enumerators. Team leaders will direct enumerators to specific and separate locations where the enumerators will
walk the entire location skipping every three houses, sampling fourth shelter. Upon reaching a settlement
boundary, enumerators will drop a pencil and walk in the direction of the pencil tip. Enumerators will return to
their section of the settlement at each day until the survey is completed. Households should only be surveyed
once.
Daily Schedule – A daily schedule should be created to guide the team leaders and enumerators on the daily
process of data collection (see Figure 3)
Figure 3: Daily Data Collection Process for Team Leaders and Enumerators
Asset Reception – Phones should be given to the enumerators by team leaders only for the time of work –
meaning team leaders should distribute the phones at their team’s morning debrief and collect the phones after
the day’s data collection. Team leaders and enumerators should sign an agreement as well as an asset tracking
sheet indicating what phones have been released to which enumerators on which date. It is advisable to sign out
an extra battery and phone to each team leader for use as needed. Sample guidelines for asset distribution
include:
1. The Recipient is responsible for the integrity of the assets.
2. In case the asset is lost, the Recipient will be held responsible and may have to reimburse the
original price of the asset;
3. In case the asset is damaged due to carelessness of user, the Recipient will be charged for repair
costs;
4. The day to day problems of the asset will be followed by technical staff; and,
1. Morning briefing at
meeting point and check–out of mobile phones
2. Travel to target
section
3. Enumerators deployed for assessment
4. Return mobile phones
and mark sign-out
sheet
5.Return to meeting point for
debriefing with
enumerators and team leaders
6. Team leaders debrief
with project
manager
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5. The Recipient is obliged to return the assets at the end of each day to the team leader who will
provide all assets to the project manager.
Phone Use – All prior information from the data collection training leads to the phone usage component. Morning
and evening checks of the phones should be conducted by project managers, team leaders and enumerators.
These checks should ensure the Wi-Fi is off, GPS is on, mFieldwork has been logged into, battery is charged,
and review the quality of the phone (to see if any damage has occurred). It is important to highlight at this point
that phones are not for personal use: sim-cards should not be added and mFieldwork is the only application that
should be accessed. It is at this stage that facilitators should review the steps for data collection (see next
section – Steps for Data Collection and Entry).
STEPS FOR DATA COLLECTION AND ENTRY 1. Open the mFieldwork application – The mFieldwork application should be located on the homepage
of every mobile phone to ensure easy access. There is no need to have any other applications on
the homepage.
2. Login – Logins will vary by agency, but each team should have their own login information.
3. Select “Download” – located at the top right of mFieldwork’s homepage - to access any surveys
linked to the login account. See Figure 5: Home Screen of mFieldwork for reference.
4. Select “List Surveys,“ to open the survey – located at the middle of mFieldwork’s homepage – to
view available surveys. See Figure 5: Home Screen of mFieldwork for reference.
5. Select the appropriate survey option for the surveys listed.
6. Begin the survey.
7. Once the survey is completed, enumerators must select “Submit.” After submission, the number of
surveys uploaded will be available on the “Upload” tab (See Figure 5: Home Screen of mFieldwork
where 4 surveys have been completed). Submitted surveys can only be reviewed after exporting
data from mFieldwork - enumerators will not be able to open any submitted surveys.
8. Do NOT log out of mFieldwork. Any data captured will be lost if an enumerator logs out of the
application before the data is uploaded.
STATUS BAR: WIFI/Network/Flight mode/USB Connect Here you can see the status your phone is in.
ON/OFF BUTTON
STATUS BAR: This where the icon mFieldwork application software should be located.
Figure 4: Mobile Phone Diagram
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Figure 5: Home Screen of mFieldwork
DATA UPLOAD All mobile data should be uploaded daily from the mobile phones onto the mFieldwork online platform for
cleaning and analysis. To upload data:
Turn on the phone’s Wi-Fi
Open mFieldwork
Select “Upload” (see Figure 5: Home Screen of mFieldwork)
*To ensure longevity of battery life in the field, it is advisable to have the Wi-Fi turned “on” only during the upload.
There is no need to have the Wi-Fi on during data collection and having the Wi-Fi quick drain the battery;
however, it is important that the GPS remains on during data collection.*
After the upload is complete, the mFieldwork application will confirm the upload and there will be no numbers
next to the “Upload” tab. With poor internet connections, it may be difficult to upload all of the surveys at once. It
is recommended that uploads are only conducted a few phones at a time. If an upload fails, the survey data is
not lost, simply select “Upload” again and repeat until the confirmation message appears.
DATA VERIFICATION It is of the utmost importance to verify all collected data, as prompt cleaning and verification are essential
measures to mitigate inaccuracies and ensure project integrity. Each phase of data collection – secondary
source collection, primary data entry, and data validation – should be accompanied by an ongoing data
verification process. Below are some guidelines for each data collection phase:
Secondary Data Collection: As secondary data lays the foundation of any assessment, the validation of these
findings should be thorough and well documented. While secondary data may be informed by well-regarded
research and/or reports, it is often supported by key informant interviews and programmatic documentation which
may not be as conclusive. All data should be reviewed with the Reliability/Credibility Matrix (see Table 3) in mind.
Quality cannot be supplemented by quantity, and validation of secondary data needs to be done by someone
with experience in reviewing qualitative and quantitative analyses.
Primary Data Collection: Team leaders should debrief the project managers daily upon return from the data
collection site. Debriefs should allow for team leaders to highlight any obstacles experienced throughout the day.
These may include but are not limited to: mobile phone malfunctions, enumerator challenges, and security
concerns (note: security concerns should be immediately reported to the project manager at the time of incident).
Project managers should conduct a daily check of all data that is collected each day by exporting data from
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mFieldwork (process explained in Data Analysis section) and reviewing of that day’s data. Any flagged data
should be included in a daily report highlighting any themes amongst the flagged data. Project managers should
then discuss these flagged concerns with team leaders at the following morning’s debrief, so that team leaders
may relay feedback to their teams. At the individual level, team leaders may need go back to the appropriate
individual and explain how data collection needs to be improved in subsequent data collection. If necessary,
enumerators may need to return to the previous day’s site to recollect the data. At the end of data collection,
there should be a comprehensive data cleaning before analysis.
Data Validation: Data validation should occur after analysis to review discrepancies in the data and/or unusual
findings. Data validation needs to be conducted, at minimum, with the team leaders. Team leaders can provide
substantive qualitative contributions to either support or discount findings. It is essential that the facilitator of any
validation workshops is well trained to motivate dialogue in a targeted approach to resolve any questions or to
better inform findings.
For secondary data collection and data validation, it is important that all sources used to monitor activities for the
SC are verified as reliable and credible. In order to do this, the following matrix will be used for each source used
(e.g. distribution records, transport lists, etc.). Any documents recorded at a D-F and/or 4-6 will require
replacement or supportive documents to ensure reliability and credibility of the information.
Table 3: Reliability/Credibility Matrix3
Reliability of Source Credibility of Data
A. Completely reliable 1. Confirmed by other sources
B. Usually reliable 2. Probably true
C. Fairly reliable 3. Possibly true
D. Not usually reliable 4. Doubtful
E. Unreliable 5. Improbable
F. Reliability cannot be judged 6. Truth cannot be judged
Reliability of source:
A Completely reliable refers to a tried and tested source which may be depended upon with confidence. These are extremely rare and should be kept for special occasions.
B Usually reliable refers to a source which has been successful in the past but for which there is still some element of doubt in a particular case. This should be used for sources of known integrity such as EU and UN agencies, military entities, some major NGOs, etc.
C Fairly reliable refers to a source which has occasionally been used in the past and upon which some degree of confidence may be based. Some press sources and NGOs could fit in here.
D Not usually reliable refers to a source which has been used in the past but has proved more often than not to be unreliable. Some press sources and NGOs could fit in here.
E Unreliable refers to a source which has been used in the past and has been proven unworthy of any confidence.
F Reliability cannot be judged refers to a source which has not been used in the past.
Credibility of data:
1 Confirmed by other sources is applicable when a source different than the originally reporting one confirms the data independently of the first source.
2 Probably true indicates confirmation of essential parts of reported data by another source. Aerial imagery is included in this category.
3 Possibly true means that investigation of a reported fact or action has revealed no further data, however the data is compatible with previous actions or background data available.
3 EU - Assessment manual of best practices in various types of emergency
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4 Doubtful is applicable to an item of data if it tends to conflict with previously reported data. 5 Improbable is applicable if an item of data contradicts previously reported data. 6 Truth cannot be judged is applicable if any freshly reported item of data cannot be compared with
data from any other source. It is used when 1-5 cannot be applied. It preferred to use a rating of 6 rather than an inaccurate 1-5 rating.
The rating is not a progressive degree of accuracy. It only helps to formalize the credibility of data received.
Therefore it is not a guaranteed measure of accuracy. The letters and numerals are independent of each other
and give an overall evaluation of the data. For example, a source known to be unreliable (E) might provide
accurate data which is confirmed by other sources and therefore given the rating of E1. Additionally, a report
evaluated as F6 may be totally accurate and should not be routinely disregarded.
DATA ANALYSIS Once uploaded into mFieldwork, the data can be exported, cleaned, and analysed. A comprehensive data
cleaning of all data collected for the assessment must be completed before any analysis.
EXPORTING DATA Data available on mFieldwork can be extracted into excel form. To extract all available data from a survey follow
these steps:
1. Login to mFieldwork using the login information provided by the Shelter Cluster.
2. Once at the Shelter Cluster portal homepage, find your survey and select its bolded blue name. If
you cannot find your survey in the homepage, use the available tabs located in the middle of the
page. Live surveys (green) are surveys which can still have data entered from the field; data cannot
be entered from the field in surveys that are listed as completed (blue).
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3. To export all data from this survey, select “Export Excel.” Note that this includes all data from all
assessments undertaken using this instrument.
4. You will then receive an email to your associated email address with a single-use link.
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5. Select the provided link, and you will be brought to a download page. At this page, you may save
the file on your computer. When the upload is complete, select “Open”.
6. Opening the file will lead you to an excel page with all of the survey responses from that survey.
Bear in mind that you may need to filter survey responses. More information on filtering is available
in the following section (Filtering Data).
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7. Data cleaning (see Cleaning Data) of the excel file should be done before any analysis.
FILTERING DATA Filtering can be done for a multitude of reasons. Some instruments will be utilised by various actors at varying
times and locations. In these scenarios, it may be impractical download the entire dataset. Rather, actors may
choose to filter the responses so that only certain information is downloaded. There is no maximum file download
if only exporting survey responses.
Filtering is a required procedure for any image, audio or video download. Images, audio files and videos may
only be downloaded in batches of 50 or less. To do so, actors will need to follow the steps outlined below and
select 50 or less responses.
1. Login to mFieldwork using the login information provided to you by the Shelter Cluster.
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2. Once at the Shelter Cluster portal homepage, find your survey and select “Data”, located to the
right of the Live/Completed icon. If you cannot find your survey in the homepage, use the available
tabs located in the middle of the page. Live surveys (green) are surveys which can still have data
entered from the field; data cannot be entered from the field in surveys that are listed as completed
(blue).
3. To filter data before exporting, select “Filter.”
4. To filter the survey options, select the triangle next to the respective question to open a dropdown
list. The dropdown list includes all answer options available. Select only those options that you want
included on the filter - items not selected will be excluded from the following upload. Select anaswer
choices that you would like to filter by and select “ADD” to apply the filter. Repeat for as many
questions as needed. Select “SAVE AND CLOSE” to apply filter and “RESET” to clear all filter
selections. For surveys that are used in multiple areas and at multiple times, often the best option is
to first filter by the “Date Submitted” and the location of survey.
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5. After selecting “SAVE AND CLOSE,” the options on the screen will represent those surveys that
were filtered. You may select survey responses individually or select “Select All”. Please note that
only 20 survey responses will be indicated on any single tab.
6. To export files, select the export icon and select what type of information you would like to receive -
exports are available as excel documents of survey responses (see Exporting Data section),
images, audio and/or video. Of note, images, audio and videos can only be exported in batches of
50 or less.
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7. You will then receive an email to your associated email address with a single-use link.
8. Select the provided link, and you will be brought to a download page. At this page, you may save
the file on your computer. When the upload is complete, select “Open”. File types vary depending
on the information selected to export. Winrar is needed to open any images.
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CLEANING DATA Preliminary data cleaning should be done after each day of the assessment, to ensure the integrity of the data
(see Data Verification section), and a thorough cleaning must be conducted at the end of the assessment.
Proper instrument development will mitigate many common data entry problems; however, data cleaning is an
essential part of any review of raw data. Data cleaning will vary per assessment, but there are several
noteworthy areas that should be focused upon during trainings and when cleaning data:
GPS review – A quick step in data cleaning involves reviewing the location of the coordinates taken during data
collection. Survey points should be evenly distributed across the settlement.
Open entry text – Open entry text questions leave room for interpretation. For settlement locations, training
facilitators should highlight during the training of trainers how each settlement should be spelt, ideally in all
capital letters. Team leaders and enumerators will need to practice spelling and entering settlements exactly as
indicated by the training facilitator. During data cleaning, often the person cleaning will need to review the
settlement question and align spellings. Other responses which are often misinterpreted are distance, time and
currency questions. Again, these should be reviewed thoroughly during any training.
Direct observation – Direct observation questions are subjective by nature, but trainings should provide
enumerators with practical examples to ensure synced perceptions of shelter types. Enumerators must be
familiar with all shelter types and categories. During data cleaning, it is important to review the shelter type
identified during the direct observation and the image collected, respectively. These mistakes should be caught
early on, if applicable, as the skip logic associated with direct observation questions varies depending on shelter
type.
ANNEXES Annex 1: Indicator Matrix
Annex 2: Tool Desk Review
Annex 3: Sampling Guidance
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ANNEX 1: INDICATOR MATRIX
Indicator NFI Emergency Transitional Permanent
12 15 27 31
% of population with security concerns, by type Yes Yes Yes Yes
% of population, by place of origin Yes Yes Yes Yes
% of population, by reason for displacement Yes Yes Yes Yes
% population, by vulnerable groups Yes Yes Yes Yes
% of population, by shelter typology Yes Yes Yes Yes
Number/% of population, by settlement Yes Yes Yes Yes
Number of household members by age and gender Yes Yes Yes Yes
% of households and individuals identified as in need of non-food items, in accordance with agency designated beneficiary selection criteria Yes
% of households having received NFI assistance, by type Yes
Number/% of beneficiaries reporting a threat before, during or after the distribution Yes Yes
Number/% of IDP households with difficulty accessing distribution points, by reason Yes Yes
% of beneficiary households that report using distributed items as a means to address other needs Yes Yes
Number/% of households that would re-use or recycle their shelter materials if they were to move elsewhere Yes Yes
% of households and individuals identified as in need of shelter assistance, in accordance with agency designated beneficiary selection criteria Yes Yes Yes
% of households having received shelter assistance meeting shelter standards defined by the cluster, by type Yes Yes Yes
Number/% of beneficiaries reporting X problem related to their shelter assistance Yes Yes Yes
% of households, by land tenure situation Yes Yes Yes
% of households that report problems with the local community Yes Yes
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% of households with lockable door Yes Yes
% of households without physical access to functioning markets Yes Yes
% of population with access to functioning basic services, by type Yes Yes
% of population, by different land tenure agreements and/or rent modality Yes Yes
% of population, by different settlement types (IDP, host, etc.) Yes Yes
Number/% of beneficiaries satisfied with their shelter Yes Yes
% of population, by reason to end displacement Yes Yes
% of settlement plans developed and implemented with participation of shelter assisted population and relevant stakeholders Yes Yes
Average plot area available per person/household Yes Yes
Number of households present in settlement, by type (e.g. host, IDP, etc.) Yes Yes
Number of shelters per plot Yes Yes
Use of plot, by type Yes Yes
% households by materials used for shelter roof/walls/floor/internal structure, by source Yes Yes
% of households reporting access to livelihoods within/outside the settlement Yes Yes
% of beneficiaries reporting access to and knowledge of a complaints mechanism Yes
Number/% of shelter incorporating measures to prevent/mitigate security risks, in particular gender-based violence Yes
Number/% of trained beneficiaries adopting maintenance skills Yes
Number/% of households reporting plot size adequate to expand shelter Yes
% of households with separated spaces within shelter Yes
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ANNEX 2: TOOL DESK REVIEW
Tool name Agency Type of tool Date NFI Shelter Type
Needs Assessment
Registration Tool
Project Management
Tool
Monitoring Tool
Evaluation Tool
Page #
Link
Emergency Preparedness and Response Planning (EPRP) Template:
DRC template n/a Emergency
Knowledge, Attitudes and Practices (KAP) Survey on Water, Sanitation and Hygiene (WASH) in Bossaso and Gaalkacyo in Puntland, Somalia
DRC observation checklist, focus group discussion tool, household survey
n/a n/a Y https://www.dropbox.com/s/othf5aysv2mk5rl/Annex%201%20HH%20Tool%20Revised.docx?dl=0 https://www.dropbox.com/s/fido0ws9zp7oswd/Annex%202%20FGD%20Tool%20rev.docx?dl=0 https://www.dropbox.com/s/1ll16xmboku18bx/Annex%204%20Observation%20Checklist.docx?dl=0
Shelter Construction Monitoring
NRC household survey
2013 n/a Permanent
Y https://www.dropbox.com/s/eod76cu9yq2r7qn/Shelter%20Consruction%20Monitoring%20Tool.pdf?dl=0
Shelter Post Distribution Monitoring
NRC household survey
2013 n/a Transitional, Permanent
Y https://www.dropbox.com/s/2i9a3j6y89o30ph/Shelter%20PDM%20Tool.pdf?dl=0
Settlement Development, Shelter and CRIs - NARE Checklist
UNHCR observation checklist; household & community level informant Interview
2014 Y Emergency, Transitional, Permanent
Y 7 https://www.dropbox.com/s/pngqmq7to5o9i4q/draft_needs_assessment_for_refugee_emergencies_checklist.pdf?dl=0
Community Level CRI Tracking Tool
UNHCR monitoring matrix
2013 Y Emergency, Transitio
Y https://www.dropbox.com/s/ed8eufd0cpfg64i/annex_1_community_level_cri_tracki
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nal ng_tool%20%281%29.xls?dl=0
Multi-sector Indicator Monitoring Sheet
Multi monitoring matrix
Emergency, Transitional, Permanent
Y https://www.dropbox.com/s/xee1onjrvh6ylx2/annex_3_south_sudan_indicators_monitoring_sheet_v1.xls?dl=0
Distribution Monitoring Form with Accountability Questions (Example)
CRS household survey
2010 Y n/a Y 29-31
https://www.dropbox.com/s/sd7gktu2uw4pnxu/monitoring-evaluation-accountability-and-learning-in-emergencies.pdf?dl=0
Postdistribution Pile-Ranking Exercise (Example)
CRS group discussion tool
2010 Y n/a Y Y 27-28
https://www.dropbox.com/s/sd7gktu2uw4pnxu/monitoring-evaluation-accountability-and-learning-in-emergencies.pdf?dl=0
Field Officer Shelter Monitoring Form (Example)
CRS observation checklist, key informant interview form
Emergency, Transitional, Permanent
Y 32-34
https://www.dropbox.com/s/sd7gktu2uw4pnxu/monitoring-evaluation-accountability-and-learning-in-emergencies.pdf?dl=0
Monthly Implementation Matrix
IOM monitoring matrix
Y Emergency, Transitional
Y Y ### https://www.dropbox.com/s/1q517n710eod4oy/monit_evaluation_audit_emergencies.pdf?dl=0
NFI Distribution and Monitoring Matrix (CAR)
UNHCR/ Shelter Cluster
monitoring matrix
2014 Y Emergency
Y Y https://www.dropbox.com/s/hhrrbz36dr44ffv/unhcr_bangui_cri_shelter_activity_and_organizational_tracking_sheet.xlsx?dl=0
Shelter Accountability Framework
ECB accountability evaluation matrix
2013 n/a Emergency, Transitional, Permanent
Y Y https://www.dropbox.com/s/c5qte055fz4mb74/ml-ecb-shelter-accountability-010413-en.pdf?dl=0
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Local Estimate of Needs for Shelter and Settlement Assessment
UN-HABITAT
observation checklist, focus group discussion tool, household survey, key informant interview form
2007 Y Emergency
Y 40-56
https://www.dropbox.com/s/t9ecvjwdgpl904o/local_estimate_of_needs_for_shelter_and_settlement_toolkit_lenss.pdf?dl=0
Project/ Programme Monitoring & Evaluation Guidance
IFRC general guidance; indicator tracking table; project management template
2011 Y Emergency, Transitional, Permanent
Y Y Y 108-126
https://www.dropbox.com/s/y9ea3aiwpmpnfyu/IFRC-ME-Guide-8-2011.pdf?dl=0
Housing Assessment Tool (CAR)
Shelter Cluster
household survey
2014 n/a Emergency
Y https://www.dropbox.com/s/34cnembsg97oi2s/1.%20Fiche%20d%27evaluation%20initiale.pdf?dl=0
RRM Household Survey Multi household survey
2014 Y Emergency, Transitional
Y https://www.dropbox.com/s/pzyrlice3ni50du/RRM%20RCA%205%20-%20Enqu%C3%AAte%20M%C3%A9nage%20-%20v2.1draft..doc?dl=0
Emergency Shelter and Settlement Preparedness and Response Checklist
UNHCR checklist 2012 Emergency
Y https://www.dropbox.com/s/h9bv0d4zm5tv0ik/annex_4_shelter_and_settlement_preparedness_and_response_checklist.pdf?dl=0
Programme Indicator Tracking Tool
IFRC monitoring matrix
Y Emergency, Transitional
Y Y https://www.dropbox.com/s/r6u6gan69rn446s/ITT-with-examples.xls?dl=0
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ANNEX 3: SAMPLING GUIDANCE
Given the large number of displaced populations, it is not possible to survey every household because it would
be too costly or time consuming. Because of this, implementing organizations will use the following sampling
methodology to draw valid conclusions about the entire displaced population. Table 1 shows examples of
sample sizes for different population sizes. The population size can be defined as the total number of
households from each displacement cohort4. Implementing organizations can also use the following website to
calculate sample sizes when they do not fall within the parameters in Table 1: www.surveysystem.com/sscal.htm
In cases where it is expected that there may be high levels of error, an additional buffer may be added to the
sample. The amount of buffer needed will depend on the reliability of secondary data but ranges tend to fall
between 5-15%.
Table 4: Sample Size Examples
Population Size (HH) Confidence Interval Confidence Level Sample Size (HH) Sample Size (HH) w/ 10% buffer
100 5 95% 80 88
200 5 95% 132 145
400 5 95% 196 216
500 5 95% 217 239
1000 5 95% 278 306
5000 5 95% 357 393
10,000 5 95% 370 407
RANDOM SAMPLING BEFORE DISTRIBUTION For questionnaires in which a distribution list is not available (i.e. Shelter Review and ICCG Rapid Needs
Assessment), a random sampling of households will be taken using the following methodology:
Each enumerator is directed to a specific location within the IDP settlement by the team leader. The
enumerator then walks the entire section, skipping every five houses. This ensures that households in
different parts of the settlement are assessed.
Enumerators use a pencil dropped on the ground to identify the direction of the walk, repeating each
time until the boundary of the assigned area is reached.
RANDOM SAMPLING AFTER DISTRIBUTION
In all cases in which a sample of households is taken, sampling will be done randomly to ensure that each
household from each distribution cohort has an equal chance of being chosen for the sample and thus eliciting
representative results. The steps below outline how to sample from a total population of distribution recipients
using simple random sampling:
1. Obtain/create a list of households who received items during the most recent distribution in Excel format
2. Use the RAND() function in Excel to randomize the beneficiary list
a. Insert a column to the left of the distribution list
b. Insert RAND() in the first cell of the new column and copy for all cells in the column to generate
a list of random numbers
c. Highlight the entire table and sort the data from lowest to highest using the new column as the
reference point for the sort function
These steps have now provided the implementing organization with a fully randomized list from which to sample
the required sample size. Once selecting the first X number of households according to the required sample size,
4 Displacement cohort: Displaced households that were displaced to the same settlement at the same time.
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generate a back-up list of possible households to interview in case of non-response from the first list. This list
should be the same size as the first and randomized in the same way. When any household from the first list is
not available to respond, the implementing organization then pulls from the second list as a replacement. Once
the households that will be sampled are identified, it is then time to conduct the household survey.